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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)35 years in industry

JAMES ALAN ISSEL

Advisor at CETERA INVESTMENT ADVISERS LLC

CRYSTAL LAKE, IL | WAYNE, IL

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Search this name across graphsid dfx:ria:8b91aa5a-9d4b-c21d-c82f-38c73f5cbf9b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 7, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 22, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S63
First exam: Feb 22, 1991
First registration: Jun 7, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1350223

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	CRYSTAL LAKE, IL\|WAYNE, IL	Current employment
MACK INVESTMENT SECURITIES, INC.	Independent wealth	Jan 2, 2004	Dec 16, 2011	no	NORTHFIELD, IL\|WAYNE, IL	Previous registration
STERLING PORTFOLIO ALLOCATION SERVICE INC	n/a	Oct 12, 1999	Dec 31, 2003	no	WAYNE, IL	Previous registration
HERITAGE CAPITAL MANAGEMENT INC	Former SEC adviser	Jun 7, 1999	Dec 31, 2008	no	WAYNE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MACK INVESTMENT SECURITIES, INC.	CETERA INVESTMENT ADVISERS LLC	Dec 16, 2011	Jun 29, 2023	4,213	Firm change after gap	Other
HERITAGE CAPITAL MANAGEMENT INC	STERLING PORTFOLIO ALLOCATION SERVICE INC	Dec 31, 2008	Oct 12, 1999	-3,368	Firm change after gap	Other
STERLING PORTFOLIO ALLOCATION SERVICE INC	MACK INVESTMENT SECURITIES, INC.	Dec 31, 2003	Jan 2, 2004	2	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ MACK INVESTMENT SECURITIES, INC.Registered adviserregistration: previous registration
Jan 2, 2004 to Dec 16, 2011factForm ADV
→ HERITAGE CAPITAL MANAGEMENT INCRegistered adviserregistration: previous registration
Jun 7, 1999 to Dec 31, 2008factForm ADV
→ STERLING PORTFOLIO ALLOCATION SERVICE INCRegistered adviserregistration: previous registration
Oct 12, 1999 to Dec 31, 2003factForm ADV

Dated events

No dated event names this entity yet.